compliance or exploit investors ? and integrity of directors and executives who must not have any prohibited characteristics.? The proposed rules also specify the qualifications of ICO portals whose roles are

knowledge and skills to exploit technological loopholes and commit more crimes. Therefore, as a regulatory agency, both the AMLO and the SEC must keep abreast of the latest information and technological

the public on 15 February 2018.  In addition, Woraphant disclosed the inside information to Sasipas, his daughter, when he knew or should have known that she might exploit the information for selling

were deemed a breach of duty under Clause 11 (1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards

difference of gold prices in the financial statements for Q3/2010 and record the estimated damages arising from breach of agreement on gold delivery in the financial statements in the year 2010.? THL ?s

a breach of contract as an amount of Baht 94,474.27 and interest until the payment is fully made. Subsequently, on 5 September, 2018, Mr. Noppadol sold 2,000,000 TRUE shares by using such inside

deemed a breach of duties and professional codes of conduct. Earlier, the SEC disseminated a circular urging investor contacts, branch managers and securities company management to ban unregulated

, allowing other persons to access client information is deemed a breach of investor confidentiality agreement, a careless, imprudent performance of duties, a negligence of investors? best interest, and

future reference in the case that a breach of duty is repeated.

found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings